About Innovation Management (formerly Technology Transfer)
We transfer innovations to the market so the public benefits from research funding. You personally benefit from participating on revenues generated when your idea creates value.
– We are the team that supports the protection of your Intellectual Property (IP).
– We work together with the legal department when contracts are filed and IP regulations are negotiated.
– We evaluate your invention disclosure and support the process of filing a patent in collaboration with patent attorneys.
– We are connected to industries to market your invention.
– We support the funding and founding of your start up business.
Inventions
An invention must be:
• new;
• based on an inventive activity and/or an inventive step; and
• commercially applicable; to be able to be protected as patent or utility patent.
The Employee Invention Act basically applies to all members of the DKFZ who are in an employment or employer-employee relationship with the DKFZ. Students only come within the scope of this Act if they are in an employer-employee relationship with the university, e.g. as research assistant.
The law distinguishes between employee inventions and free inventions. Employee inventions
• have arisen during the employment relationship from the activity incumbent upon the employee or
• are decisively based on DKFZ experience or work.
In addition, according to the assessment standards applied by national patent offices today, patent protection is also possible for software developments with a "technical character". By this is understood such computer programs that solve a technical problem or create an additional technical effect.
Before applying for a patent it should however be considered that many software products only have a life expectancy of a few years. Taking into consideration the cost of patenting and the patent offices' assessment periods that partly last for years it is therefore not always useful to strive for patent protection for software with a "technical character".
• of making the invention marketable,
• of managing the patent (patent lawyer) and license,
• of drafting the necessary contracts, negotiations,
• of the risks and guarantees.
Pursuant to the resolution of the Board of Trustees of July 1998, the DKFZ also remunerates inventors for the licensing or sale of technical know-how (software, biological material, plasmids, antibodies, etc.).
For this reason, early handing in of an invention notification to the employer (not to the third-party providing the funds) is recommendable to clarify further steps that are required without delay.
However, if the invention is exploited, the DKFZ is obligated to apply for a patent and to remunerate the inventor from the exploitation receipts. The inventor as such is always named, unless he renounces this right. No costs shall arise for him either from the application, the maintenance or the exploitation of the patent.
However, in general it holds that prior to applying for a patent or utility patent for an invention, as little information as possible should be given to potential customers at companies.
In addition, it is recommended to exercise utmost restraint when making promises vis-à-vis companies. Your interlocutor could later rightfully refer to that.
Invention Disclosure
Within four months after receipt of the invention notification, the DKFZ needs to decide whether it will release or utilize the reported invention.
Already existing contractual obligations will be taken into account in this regard. If the notification has not been made within four months after receipt, the invention will automatically belong to DKFZ.
If the invention has been released, the inventor himself is entitled to apply for registration of a proprietary right and to exploit it.
If the invention is not released, the DKFZ is obligated to file a patent application at its own expense or exploit the invention in a different manner and to remunerate the inventor in the case of earnings resulting for instance from a licensing agreement.
Invention assessment
If there is an interest in a license at the time of disclosure of the invention, for example through a collabo-ration agreement with an industrial partner, then the financial risk taken on by the DKFZ with a patent application is low. In this case, the Office of Technology Transfer will try to agree with the company that they pay the patenting costs, develop the technology further and bring it to the marketplace.
If no industrial partner has yet shown an interest in a license at the time of disclosure, the Technology Transfer Office will conduct an evaluation of the invention based on commercial criteria. The goal of the evaluation is to assess whether a licensee can be found within a reasonable time and/or what steps should be taken to increase the appeal of the technology for potential licensees.
• Competitive advantage. What are the benefits and what is the value added resulting from the invention compared to competing products or processes already existing in the marketplace?
• State of development. How far is it from the invention to a product? Is there a proof of concept or a prototype?
• Sufficiency of patent protection. Is protection by a patent enough to secure the competitive advantage? Can patent protection easily be evaded? Is there a 'freedom to operate'?
This is not a complete list, it is merely intended to present an overview of key criteria. As a rule, it will take Technology Transfer four to six weeks to conduct such an evaluation, provided that no special circumstances arise. This evaluation will include a patent search and, if necessary, a consultation with an external expert. The evaluation criteria will be applied not only at the time of invention disclosure, but also during an ongoing patent granting procedure.
Typically, there are four possible outcomes:
1. Claim of the employee invention: Should the Management Board decide in favor of claiming the invention, the patent application process will be initiated. This means that Technology Transfer believes it can recoup the investment into patenting. However, later events or a lack of commercial interest can lead to the termination of a patenting procedure at a later date.
2. Release of an invention to the inventors: If the Office of Technology Transfer believes that it will not be able to find a licensee and thus to recoup the patenting costs, the invention is released to the inventors. In this case the inventors are free to file a patent application at their own expense and to exploit the invention. The DKFZ will not receive a share in potential revenues.
3. Holding back and waiting for further research data: Sometimes it is wise to disclose an invention at the time of "conception". However, a patent application will usually not be filed before the invention has actually been reduced to practice. This helps to avoid expenses for ideas that will not work. Moreover, it is often not possible to predict what critical details will facilitate actual reduction of an invention to practice and should therefore be included in a patent application to obtain good patent protection.
4. Testing the market: If it is hard to predict commercial interest in an invention, a sensible step to take before patenting can be to approach, together with the inventors, companies which might be interested in the invention. The companies would be committed to secrecy. If no interest is shown, the invention will be released.
Patents
The realization that a certain, hitherto unknown gene exists in the genome is a non-patentable discovery. However, if a patent for a procedure to isolate or use DNA-sequences or partial sequences is applied for, patenting is possible, provided an exact description of the function is available and the procedure is commercially applicable. Whether the guidelines specified for this by the patent offices have been met needs to be checked in detail for every invention.
1. Filing a Patent Application
If the DKFZ has claimed an invention, a patent application will usually be filed. The patent application will be drafted by an external patent attorney. You will be requested to contribute to this process by providing the attorney with your results and your expertise. The attorney will file the patent application in the name of the DKFZ, as a rule, with the European Patent Office (EPO) to start with. The costs are borne by the DKFZ.
2. Patent Granting Procedure
After a patent application has been filed, the patent office will examine the prior art and then review the invention using specific criteria (novelty, inventiveness, susceptibility to industrial application, clarity, feasibility and sufficient disclosure) to determine its patentability. A patent will eventually be granted only to the extent to which these criteria are fulfilled (often after 5 years or more since original priority filing).
Following the first filing with the EPO, the DKFZ will usually also file an international (PCT) application and national applications resulting from it, such as in the US, Europe, China or Japan.
3. Decision on Patent Maintenance
Since patent application and maintenance are expensive, there are regular reviews to determine whether it still makes sense to carry on with these. Important cost-relevant milestones of a patent granting procedure are 12 and 30 months after filing.
For a period of up to 12 months after a first filing that has given rise to a right of priority (usually a European filing) it is possible to supply further unpublished data and to file patent applications for the same invention in other countries. Since the value of an invention is frequently still unclear after one year, it is possible to delay this decision by 18 months by filing an international patent application under PCT (PCT filing).
1) the software itself solves a technical problem (for example control and regulation systems) or
2) an additional technical effect is generated when the software is executed, physical changes to the hardware such as they occur during every software execution not being sufficient. Assuming the novelty and merit of invention criterion has been met; most patent offices recognize such software as patentable that has for instance one of the following additional technical effects:
• faster execution times,
• increased data transfer rates,
• more effective data storage,
• higher resolution, for instance in high image processing,
• simplified manipulation of computer graphics,
• more effective data compression,
• higher effectiveness of a data filter.
Even though software may be patentable is not always the best commercialization route.
Searching patents – Beneficial for science
Searches in scientific databases are, of course, essential. But: did you know that many results from industry can often be found only in patent databases, because patent applications across the world have to be published by the relevant patent offices? Unfortunately, these valuable sources of information are still used all too rarely by academic researchers.
The portal SciFinder (accessed via the Library website) offers a search facility for all DKFZ researchers. SciFinder can be used to find publications from over 10,000 journals and patents from 63 patent offices. If you discover during a search that you have found a new solution to a technical problem, this probably involves an invention, in which case please report this to the Office of Technology Transfer.
Searches aimed at establishing the novelty and the state of the art always involve the searching of patent and the non-patent literature. These are combined to produce complex search operations, each of which should consider the following periods:
- the state of the art (5-10 years retrospectively)
- novelty search (unlimited retrospectively)
The Office of Technology Transfer regularly conducts patent searches and offers trainings . Seminars for individual departments are available on request.
The DKFZ offers access to the SciFinder database, and you can find information about the access options on the Library website of the Intranet. Introductory events are offered at regular intervals by the central library.
Invention/patent protection
e.g. posters, emails, ordering sheets for Materials, etc.
In order not to jeopardize an invention, the patent application is drafted in parallel to the preparation of the manuscript for publication in a scientific journal. Both documents are then submitted simultaneously: the patent to the patent office and the manuscript to the publisher. The same procedure is applied for abstracts, discussion papers, posters, and presentations. Not all inventions by the German Cancer Research Center are patented. Many new developments such as cell lines, antibodies, mouse models, and software can nevertheless be licensed.
A prior publication at any rate considerably restricts the chances for a comprehensive patent protection.
However, to avoid information from becoming public during the assessment period, the patent application should first be lodged with the patent office and only then should the article concerned be handed in to the magazine.
Please note that you have to report the publication of an invention to the DKFZ, if no patent has as yet been applied for. As a rule, publication may be affected after a period of two months.
Starting a business
• The DKFZ's Office of Technology Transfer approaches companies that might be interested in the technology.
• Potentially interested companies directly approach the DKFZ.
• Personal contacts in which the inventors describe or present their work.
• A summary of the technology developed which emphasizes the results achieved without ex-plaining how they are achieved.
• The present state of the art of competing technologies available in the marketplace and their limitations.
• Arguments why the new technology is superior and helps the licensee achieve a competitive advantage.
This description should identify all possible specific uses of the technology. These may be individual areas of use of the technology for which separate licenses may be possible (e.g. different disease indications or markets such as diagnostics or therapy). The abstract can also state what the DKFZ is looking for, such as licensees and/or collaboration partners, animal models, etc.
It is helpful if the inventor contributes actively to generating a non-confidential technology abstract. If necessary, however, the Office will produce an abstract based on the invention disclosure or the patent application, respectively.
The Technology Abstract will be provided to industrial companies that are supposed or known to have an interest in the field of the invention.
Material Transfer Agreements
Who is the recipient?
What may the recipient do with the material?
What is the legal position concerning ownership?
Who is liable for damages?
What is the procedure for publications and inventions?
Who in the DKFZ is authorized to send material?
You are authorized to transfer material to non-commercial institutions if:
• you have developed the material yourself at the DKFZ and it is
• biological material WITHOUT any genetic modification
• genetically modified biological material classified as biosafety level 1
• genetically modified biological material containing Tet technology
• in case of human material, data protection approval has been obtained in advance.
You may not, however, transfer the material if you have received it from a third party or if the material contains third-party IP (please contact your licensing manager for more information).
To enable you to send your material quickly and unbureaucratically in such cases, we have uploaded for you all the necessary documents and information on the DKFZ Intranet.
Please note that for human materials (both sending and receiving) the approval process involves the DKFZ Data Protection Department. This applies to patient-derived cell lines, any human samples, DNA/RNA, xenograft models etc. Please hand in the Informed Consent Forms (ICF) for approval together with the appropriate MTA form.
Please download the relevant MTA form from the Download area, complete the form, and send it with a request for signature to the recipient. As soon as the MTA has been returned to you with the necessary signature (the electronic form is sufficient), you may send the material to the recipient.
If you wish to send other material than that mentioned above, please contact the licensing manager responsible for your group
• If you wish to obtain material from third parties (academic institutions or companies)
• If you wish to send material to a company
• If you wish to send material containing third-party material
• If the material was produced in cooperation with third parties
• If you wish to send GMOs and/or pathogens classified as biosafety level 2 and higher, contact biosafety@dkfz-heidelberg.de
• If the recipient wishes amendments to the MTA
• If you wish to send material containing Cre-ERT constructs
• If you wish to send or obtain human material (contact Data Protection department datenschutz@dkfz-heidelberg.de
Original Material: Please use a readily understandable name for the material that adequately defines the material. In many cases, the material is not adequately described by the name alone and thus requires a brief description (what? plasmid, antibody, hybridoma, etc.; origin of sequences? human, murine, etc.) or a reference that describes the material. If the material has been patented, this must be stated.
Purpose: The purpose for which the recipient is receiving the material is defined here. You may narrow down the research field as much as you like. The advantage is that the recipient may then not engage in parallel research using your material.
If the recipient is in agreement with the content of the MTA, they should complete the MTA, print it out and sign it and then return it to you and to MTA@dkfz.de . In case of MTA_GMOs or MTA_GMO_TET please also send the MTA to biosafety@dkfz-heidelberg.de .
If the recipient wishes any changes to the MTA, please contact the licensing manager responsible for your group in the Office of Technology Transfer LINK. Do not send the material until you have received the signed MTA from the recipient.
Collaboration with Industry
In a joint meeting (including the Finance Department, if necessary), further key data are clarified. (Does the financial frame of the company correspond to the working package of the DKFZ? Is the timeframe realistic?)
License Agreements
In scientific technology transfer, a license agreement is often an agreement concerning patent rights owned by a scientific institution. The right derived from a patent is called a "negative" right, i.e. rather than allowing practical application or use of an invention, it entitles its holder to forbid others the practical application of a patented invention. In a license agreement, the patent holder grants the licensee (company) the right of practical application of an invention in a certain area. Licensing does not transfer property rights.
License agreements can also cover materials (such as transgenic mice and cell lines – see Material Transfer Agreements) and other forms of intellectual property including copyrights (particularly on software).
• the invention under license (subject matter of the license)
• the application area in which the licensee is entitled to utilize the license (e.g. therapeutic or diagnostic purposes)
• the geographical area in which the company is entitled to utilize or sell the invention
• the term of the license
• the proper performance of the contract by the company
• the financial terms of the license including possible upfront payments, minimum annual payments, and milestone payments as well as continuous payment of license fees for products sold
• the course of action in case of infringement of patent rights
• the release from liability of the DKFZ that may arise from utilization or sale of the invention by the company
• accounting and auditing provisions
• mode and time of possible cancellation of license contract by the parties
• all confidentiality conditions.